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Former SEC-registered adviserFormer SEC adviser· Wilmington, Delaware

Former SEC-registered adviser, based in Wilmington, Delaware, reporting $107M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2024-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $107M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +3.1%
Private clients: 99% of RAUM, $106M

Advisors Advisor movement Where the RAUM sits

As of 2024-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 17 Form ADV filings for this adviser, the latest 2.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 145261 · SEC 801-113842 · 17 filingsShow

CRD 145261SEC 801-113842First filing on the tape Nov 10, 2011, latest Mar 13, 2024IAPD

RAUM

$107M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

99%

$106M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$107M as of Mar 13, 2024

Jan 31, 2012$56.2M then

HNW client RAUM$89.5M as of Mar 13, 2024

Mar 4, 2019$76.8M then

State-registered IARs (5.B.3)1 as of Mar 13, 2024

Jan 31, 20120 then

Employees (5.A)2 as of Mar 13, 2024

Mar 4, 20192 then

Private funds: no history

RAUM +3.1% over the last fiscal year-0.7% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 13, 2024; every figure names its basis

RAUM per advisor: $107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 76derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $400,599derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +3.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.3%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$89.5M83%
Individuals$16.8M16%
Pension and profit-sharing plans$1.1M1.0%

Individual clients: 29reported
HNW clients: 47reported
Pension plan clients: n/areported
Charitable clients: 0reported
Accounts: 268reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

B•••••• L•••• H••••••••• to F••••••••• W••••• M••••••••• L••
Jul 12, 2024 · RIA to RIA

Joined, latest

B•••••• L•••• H••••••••• from B•• F•••••••• S•••••••
Nov 16, 2007 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••••• B••••••• L•••• · Chief Compliance Officercontrol
since 09/2007 · owns less than 5%
H••••••••• B••••••• L•••• · Membercontrol
since 01/2013 · owns 75% or more of I••••••••• W••••• M••••••••• L••

Entity owners

I••••••••• W••••• M••••••••• L•• · Member And Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

B•••••• L• H••••••••• I••
insurancey
I••••••••• T•• A•• B••••••• S•••••••• L••
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Rehoboth Beach, De	0	0	0

Offices

Schedule D 1.F, the 25 largest

Rehoboth Beach, DE1 employees

What changed

consecutive filings, newest first

Accounts · 276 to 268
Oct 31, 2023 to Mar 13, 2024
HNW clients · 46 to 47
Oct 31, 2023 to Mar 13, 2024
Pension plan clients · 1.0 to unset
Oct 31, 2023 to Mar 13, 2024
Discretionary RAUM · $103M to $106M
Oct 31, 2023 to Mar 13, 2024
HNW RAUM · $88.4M to $89.5M
Oct 31, 2023 to Mar 13, 2024
Individual RAUM · $14.7M to $16.8M
Oct 31, 2023 to Mar 13, 2024
Non-discretionary RAUM · $1.0M to $1.1M
Oct 31, 2023 to Mar 13, 2024
Pension RAUM · $1.0M to $1.1M
Oct 31, 2023 to Mar 13, 2024
RAUM · $104M to $107M
Oct 31, 2023 to Mar 13, 2024
Accounts · 315 to 276
Nov 2, 2022 to Mar 28, 2023
Advisory employees · 2 to 1
Nov 2, 2022 to Mar 28, 2023
HNW clients · 34 to 46
Nov 2, 2022 to Mar 28, 2023
Individual clients · 42 to 29
Nov 2, 2022 to Mar 28, 2023
Assets in custody · $10.4M to $0
Nov 2, 2022 to Mar 28, 2023
Custody of client assets · true to false
Nov 2, 2022 to Mar 28, 2023
Employees · 3 to 2
Nov 2, 2022 to Mar 28, 2023
State-registered IARs · 2 to 1
Nov 2, 2022 to Mar 28, 2023
Discretionary RAUM · $124M to $103M
Nov 2, 2022 to Mar 28, 2023
HNW RAUM · $99.5M to $88.4M
Nov 2, 2022 to Mar 28, 2023
Individual RAUM · $24.2M to $14.7M
Nov 2, 2022 to Mar 28, 2023
Non-discretionary RAUM · $1.2M to $1.0M
Nov 2, 2022 to Mar 28, 2023
Pension RAUM · $1.2M to $1.0M
Nov 2, 2022 to Mar 28, 2023
RAUM · $125M to $104M
Nov 2, 2022 to Mar 28, 2023
Accounts · 307 to 315
Mar 29, 2021 to Mar 11, 2022
HNW clients · 50 to 34
Mar 29, 2021 to Mar 11, 2022
Individual clients · 23 to 42
Mar 29, 2021 to Mar 11, 2022
Assets in custody · unset to 10358901.0
Mar 29, 2021 to Mar 11, 2022
Custody of client assets · false to true
Mar 29, 2021 to Mar 11, 2022
Discretionary RAUM · $108M to $124M
Mar 29, 2021 to Mar 11, 2022
HNW RAUM · $98.3M to $99.5M
Mar 29, 2021 to Mar 11, 2022
Individual RAUM · $10.2M to $24.2M
Mar 29, 2021 to Mar 11, 2022
Non-discretionary RAUM · $1.1M to $1.2M
Mar 29, 2021 to Mar 11, 2022
Pension RAUM · $1.1M to $1.2M
Mar 29, 2021 to Mar 11, 2022
RAUM · $110M to $125M
Mar 29, 2021 to Mar 11, 2022
Accounts · 349 to 307
Jun 17, 2020 to Mar 29, 2021
Advisory activities · 3 to 2
Jun 17, 2020 to Mar 29, 2021
Corporate clients · 1 to 0
Jun 17, 2020 to Mar 29, 2021
HNW clients · 36 to 50
Jun 17, 2020 to Mar 29, 2021
Individual clients · 44 to 23
Jun 17, 2020 to Mar 29, 2021
Employees · 2 to 3
Jun 17, 2020 to Mar 29, 2021

Signals

2 dated events

••• Locked
Jul 12, 2024 · Advisor changed firm · fact
••• Locked
Jul 17, 2018 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026